Description
A career as a Compliance Supervisor within the Compliance services team at National Bank Financial means acting as a specialist for centralized approvals on a national scale and providing support to regional supervisors during their absence. This role allows you to make a tangible impact by ensuring compliance with internal policies and regulatory requirements in the industry.
This position includes daily monitoring, regulatory approvals, and support for regional compliance activities to ensure that all wealth management advisors and branches adhere to the firm’s policies and procedures, as well as industry regulatory standards. Additionally, the Compliance Services team at NBF handles certain centralized monitoring tasks at head office to ensure regulatory obligations are met.
Your role:
- Supervise client communications, including approving advertising materials, social media activities, and microsite content.
- Review and approve centralized items related to various regulatory and operational risks.
- Replace regional compliance officers to manage KYC approvals, regional requests, and daily transaction monitoring.
- Work closely with regional directors and operational teams to ensure compliance with internal policies and CIRO requirements.
- Quickly identify risk situations, alert relevant stakeholders, and recommend corrective actions.
- Participate in weekly and monthly monitoring, particularly for external activities, and document exchange tools.
- Contribute actively to continuous improvement projects affecting the team’s activities and those of the broader Level 1 Surveillance team.
Your Team
The Compliance Vice-Presidency includes more than 70 specialists who work in an agile, proactive, and collaborative manner to ensure regulatory compliance and continuously improve our processes.
Within this team, you’ll be part of a group of 7 colleagues, also working closely with regional managers. Our environment encourages collaboration and excellence while offering flexibility to support your work-life balance.
The Bank values continuous development and internal mobility. Our personalized training programs, based on experiential learning, allow you to master your role and develop new areas of expertise.
Requirements
- University degree in a related field and at least three years of relevant experience.
- Minimum of two years’ experience at a securities dealer, with strong knowledge of investment products, financial markets, and the regulatory environment.
- Registered Representative (RR) or Investment Representative (IR) license with IIROC (Investment Industry Regulatory Organization of Canada).
- Successful completion of the Branch Managers’ Course (BMC), or within three months of hiring.
- Strong organizational skills, adaptability in a fast-paced environment, and solution-oriented analytical abilities.
Your benefits In addition to competitive compensation, upon hiring you’ll be eligible for a wide range of flexible benefits to help promote your wellbeing and that of your family. * Health and wellness program, including many options * Flexible group insurance * Generous pension plan * Employee Share Ownership Plan * Employee and Family Assistance Program * Preferential banking services * Opportunities to get involved in community initiatives * Telemedicine service * Virtual sleep clinic These are a few of the benefits available to you. We have an offer that keeps up with trends as well as your needs and those of your family. Our dynamic work environments and cutting-edge collaboration tools foster a positive employee experience. We actively listen to employees’ ideas. Whether through our surveys or programs, regular feedback and ongoing communication is encouraged. We're putting people first We're a bank on a human scale that stands out for its courage, entrepreneurial culture, and passion for people. Our mission is to have a positive impact on peoples' lives. Our core values of partnership, agility, and empowerment inspire us, and inclusivity is central to our commitments. We offer a barrier-free workplace that is accessible to all employees. We want our recruitment process to be fully accessible. If you require accommodation, feel free to let us know during your first conversations with us. We welcome all candidates! What can you bring to our team? Come live your ambitions with us!
